Compliance Analyst

This is a fully remote position, open to applicants in Kansas.

📋 Description

• Conduct onboarding due diligence for Registered Investment Advisors.

• Assess the efficiency and accuracy of the compliance program.

• Engage in ongoing monitoring and analysis of the firm's investment adviser representatives.

• Support the annual assessment of compliance policies and procedures.

• Prepare and file license registrations with regulatory authorities.

• Maintain ADV 2B documents.

• Oversee reportable Outside Business Activities to identify potential conflicts of interest.

• Assist in communicating continuing education requirements.

• Perform research on state and federal regulations.

⛳️ Requirements

• Strong understanding of regulatory requirements for Registered Investment Advisors.

• Competence in interpreting new rules and clearly communicating guidelines.

• Self-driven with exceptional time and project management abilities.

• Excellent communication skills, both verbal and written.

• High level of attention to detail and strong problem-solving capabilities.

• Prior experience with the FINRA regulatory filing system is preferred.

• Ability to adjust to a fast-changing business and technology landscape.

• Bachelor’s degree in business, finance, economics, accounting, or a related field.

• Minimum of 2 years of experience in financial services; experience in investment advisor compliance is a plus.

🏝️ Benefits

• Health, wellness, retirement, and various financial benefits.

• Paid time off.

• Overtime compensation for non-exempt employees.

• Comprehensive learning and development programs.

• Reimbursement for job-related expenses.

• Employee perks and discounts.